IOSCO, ISDA grapple with crypto’s emergence
Standards setters develop scaffolding for fledgling asset class
- By: James Langton
- January 18, 2022 January 18, 2022
- 16:38
Latest news in From the Regulators
U.K. targets false advertising in crypto space
As crypto ownership has grown, knowledge has dropped, government says
- By: James Langton
- January 18, 2022 January 18, 2022
- 12:57
Court approves $125-million settlement in “David vs. Goliath” case
The class action alleged CIBC failed to disclose U.S. subprime exposure during the financial crisis
- By: James Langton
- January 18, 2022 January 18, 2022
- 12:44
From influencers to confetti drops, investor protection threats evolve
International regulators are consulting on measures for overseeing an increasingly digitized retail investment business
- By: James Langton
- January 17, 2022 January 17, 2022
- 14:21
After escaping ASC sanctions, man faces new charges
Regulator alleges man violated trading, officer bans
- By: James Langton
- January 14, 2022 January 14, 2022
- 15:58
FSRA finalizes title regulation rules
Final rules sent to minister for approval; implementation remains uncertain
- By: James Langton
- January 14, 2022 January 14, 2022
- 13:09
U.S. Ponzi schemer gets 17-year jail sentence
A United States federal court ordered Perry Santillo to pay US$103 million in restitution. Some clients suffered six-figure losses as money from new investors went…
- By: The Associated Press
- January 14, 2022 January 14, 2022
- 12:51
No time to waste on climate risk, BoC and OSFI warn
Scenario analysis finds that delaying policy action raises the economic and financial sector impacts
- By: James Langton
- January 14, 2022 January 14, 2022
- 12:30
IOSCO seeks pandemic lessons in resilience
Continuity planning enabled firms, trading venues to ride out disruption
- By: James Langton
- January 13, 2022 January 13, 2022
- 15:22
FINTRAC fines credit union
Regulator sanctions firm for anti–money laundering compliance violations
- By: James Langton
- January 13, 2022 January 13, 2022
- 15:09
CSA adopts changes to auditor oversight rules
The amendments give regulators access to audit work performed by foreign firms
- By: IE Staff
- January 13, 2022 January 13, 2022
- 14:50
IIROC proposes rule amendments to better protect investors
Changes include clearer requirements for dealers to conduct investigations
- By: IE Staff
- January 13, 2022 January 13, 2022
- 14:08
Affinity fraud targeted Pakistani-Canadian community, OSC alleges
Regulator says scheme took $2 million from investors
- By: James Langton
- January 11, 2022 January 11, 2022
- 16:17
FSRA to shine a light on enforcement
The regulator is stepping up public disclosure of disciplinary actions
- By: James Langton
- January 11, 2022 January 11, 2022
- 16:13
OBSI releases strategic plan amid increased scrutiny
Promises for action on OBSI have repeatedly gone unmet, however
- By: James Langton
- January 11, 2022 January 11, 2022
- 15:09
“If we have to raise interest rates more over time, we will,” Powell says
The Fed chair said Tuesday that inflation poses a major threat to the job market
- By: Christopher Rugaber, The Associated Press
- January 11, 2022 January 11, 2022
- 14:07
Nova Scotia regulator bans repeat offender
The former rep was also ordered to pay a $500,000 fine for securities violations
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:54
Market data faces scrutiny from U.K. regulator
FCA launching series of studies in response to anti-competitive concerns
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:45
IIROC panel sanctions rep for KYC violations
Clients lost over $1 million on risky options strategy in market crash
- By: James Langton
- January 10, 2022 January 10, 2022
- 16:18
Crypto scams top regulators’ list of threats
Stories of "crypto millionaires" have led to big bets and big losses
- By: James Langton
- January 10, 2022 January 10, 2022
- 14:12
SEC alleges insider trading ahead of failed Aphria bid
U.S. authorities charged three men in connection with an alleged multimillion-dollar scheme
- By: James Langton
- January 7, 2022 January 7, 2022
- 10:00
IIROC bans, fines former advisor $1 million
The ex-representative embezzled funds from elderly clients
- By: James Langton
- January 6, 2022 January 6, 2022
- 13:47
FSRA consults on living wills for credit unions
Consolidation may make it tougher for troubled firms to find merger partners
- By: James Langton
- January 6, 2022 January 6, 2022
- 12:13
Canaccord settles IIROC client overcharging case
The firm agreed to a $157,500 fine and will repay 6,000 affected clients
- By: James Langton
- January 5, 2022 January 6, 2022
- 17:22
ESMA preps for blockchain pilot
Regulators consult on rule changes ahead of digital securities test
- By: James Langton
- January 5, 2022 January 5, 2022
- 15:43